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about 1 year ago
Moore Stephens
Salary band: Any
Location: UK
Job type: Permanent
Contact: Moore Stephens
Category: Consulting Jobs
Role purpose Reporting to a Manager / Senior Manager the post holder will assist the Director and Partners with meeting the annual plans as set out and agreed; to service and support our regulatory clients through providing a monitoring service for a range of clients, undertaking consultancy projects and assisting with ad hoc questions as they arise. On some projects the role holder will be required to lead some of the aspects of the project, or a specific work stream assigned to them. The role holder is expected to work mainly unsupervised and be capable of leading and supervising a project team to meet required reporting deadlines, project milestones and providing timely updates to stakeholders and the assignment leader(s). Core responsibilities Assist the line manager in meeting business plans and winning new business;Responsible for meeting prospective clients and preparing draft Letters of Engagement;Undertake work in such areas as FCA application packs, variations of permission notices, ICAAPS, liquidity policies and procedures and suitability reviews,Assist clients with mock FSF visits, including interviewing senior staff/board membersResponsible for completing project based assignments within agreed timescalesIn addition to the above, the post holder will also lead aspects of, supervise and be responsible for completing assigned project work within agreed timescales.Responsible for presenting compliance findings to the client and produce written reports on remedial actions resulting from the monitoring programme and contribute to follow-up meetings with operational line managersMaintain current technical knowledge in relation to changes with FCA and PRA rules and guidance in terms of key changes and ensure this is communicated effectively to all relevant parties, by way of briefings, emails and fact sheetsEnsure the Team's standard compliance documentation provided to clients (including manuals and monitoring programmes) are kept up to date for necessary changes;Provides authoritative guidance in own areas of specialism and is considered a subject matter expert;Responsible for the preparation, development and presentation of internal and external training courses and briefings as they relate to FCA and PRA regulationsPositively promote and develop the service offering/client proposition and contribute actively towards the overall departmentAssist other members of the team with ad hoc questions on the FCA and PRA Handbook when required Other Be aware of and comply with the firm's policies at all timesRecord time accurately using the Practice Management SystemTake responsibility for detailed and accurate recording of working papersTake an active role in ensuring that the quality of work output meets or exceeds client expectationsAny other duties appropriate to the grade and level of responsibility of this post, for which the post holder has the necessary experience and/or trainingBe aware of the firm's risk management and practice assurance procedures and ensure complianceEnsure continuing professional development is up to date at all times Grade descriptor Is typically part-qualified and / or building on professional experience in area of specialismApplies technical knowledge in client assignments within defined parameters, seeking advice on more complex technical issuesAdvises managers (and client as appropriate) of progress on assignments / casesIdentifies information gaps and seeks additional information where necessaryProvides solutions to straightforward problems and issues Attributes, Requirements, skills At least two years' experience within a compliance environment, ideally in an investment management, broking or FCA and PRA regulatory role, or regulatory consulting environment, and with a background in financial servicesProfessionally Qualified (or recognised industry equivalent)Good working knowledge of the FCA and PRA HandbooksUnderstanding of AIFMD, CRD, UCITS, Conduct Risk, Senior Managers and Conduct Regime, Money Laundering regulations, MiFID and FATCA would be an advantageWilling to travel to clients (mainly within London, but sometimes internationally)Strong written and verbal communication skillsStrong analytical skillsAble to produce formal reports and fact sheets whilst interpreting FCA and PRA rules into simple EnglishAble to use initiative, work unsupervised and comfortable taking responsibilityAble to build a rapport with clients and staffAble to multi-task in order to meet clients needsAble to work under pressure with accuracy and focusAble to demonstrate problem solving skillsProactive and able to think outside the box to compliance solutionsProven planning and prioritising skillsStrong organisational and time management skillsAble to influence internal / external clients and colleagues

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